IT’S ALMOST 2018!!!! As we approach the New Year, firms should make sure that they start off on a good note. Below are the regulatory filings, request for comments, and certification due dates for the month of January. FINRA does not list any conferences or events for the month. JANUARY 2018 January 2nd Annual Audit[…]

As we are approaching December 2017, you should review FINRA’s compliance calendar to ensure you are aware of the last regulatory filings of the year. If you want to attend any conferences or events before the end of the quarter, there are two upcoming seminars. Read More…

As November approaches, let’s take a look at the upcoming deadlines and educational opportunities that are on FINRA’s compliance calendar for the month. Please note that the calendar does not include all regulatory and filing responsibilities for firms. Therefore, you should check other resources to ensure that your firm does not miss any important deadlines. Read More…

As we are approaching October 2017, it is a good idea to review FINRA’s compliance calendar to ensure you are aware of all regulatory filings, request for comments, certification due dates, and conferences and events that are coming up. Read More…